TH
Tyler F. Hughes
PRINCIPAL SECURITIES
Bellevue, NE 68005
Some features on this profile are disabled
CRD#: 4259549
TH
Professional summary
Tyler F Hughes, who also goes by Tyler Franklin Fowler, is a registered financial advisor currently at PRINCIPAL SECURITIES, INC. located in Bellevue, Nebraska.
Tyler is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Tyler has worked at 4 firms and has passed the Series 66, Series 65, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Tyler Franklin Fowler
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
***Rental Property; Owner; 03/09/17. ***Outside Insurance, Fixed Life, Fixed Annuities, Group Benefits, DI, 08/23/17. ***STARDUST STABLES, LLC POSITION: Owner NATURE: Owner/Partner/of LLC/S-Corp/REIT INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 1 START DATE: 10/01/2021 ADDRESS: 8532 N 169th Street, Bennington NE 68007, United States DESCRIPTION: Rental property with two tenants and farming operation whose primary purpose is the boarding of horses. LLC will collect rent from horse owners currently under contract on property on a monthly basis for their daily care. Two tenants will be providing that care. LLC for tax and legal protection to support ownership of livestock. ***WALNUT HILL ADVISORS, LLC POSITION: Founder NATURE: Owner/Partner/of LLC/S-Corp/REIT INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2023 ADDRESS: 8532 N 169th Street, Bennington NE 68007, United States DESCRIPTION: I am founding the LLC under the advice of my accountant. We will use this for overhead and tax purposes. ***UNIVERSITY OF NEBRASKA OMAHA POSITION: Board Member, non-voting NATURE: Board Member/Officer/Director of an Organization INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2023 ADDRESS: 18205 Capitol Avenue, Suite 300, Elkhorn NE 68022, United States DESCRIPTION: Sit in quarterly meetings to learn more about the university and what that department is working on, planning for, etc. Simply an advisory counsel. No votes, no contributions, not much more actually.
CRS (Client Relationship Summary) - RIA
Click below to view Tyler F Hughes's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Tyler F Hughes's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
November 20, 2014 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 1508 J F Kennedy Dr Ste 201, Bellevue, NE 68005Office #2: 18205 Capitol Ave Ste 300, Elkhorn, NE 68022RIA
BD
CRD#: 1137
Bellevue, NE
Current
October 30, 2014 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 1508 J F Kennedy Dr Ste 201, Bellevue, NE 68005Office #2: 18205 Capitol Ave Ste 300, Elkhorn, NE 68022RIA
BD
CRD#: 1137
Bellevue, NE
Past
June 10, 2005 - October 14, 2011
AMERICA FIRST INVESTMENT ADVISORS LLC
RIA
CRD#: 106984
OMAHA, NE
Past
January 17, 2002 - January 4, 2005
FPCM SECURITIES, LLC
BD
CRD#: 38283
NEW YORK, NY
Past
May 15, 2001 - December 10, 2001
SECURITIES AMERICA, INC.
BD
CRD#: 10205
LAVISTA, NE
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
PRINCIPAL SECURITIES, INC.
BLC EQUITY SERVICES CORPORATION | PRINCOR FINANCIAL/ SERVICES CORPORATION | PRINCOR FINANCIAL SERVICES CORPORATION | PRINCIPAL SECURITIES, INC. | PRINCIPAL FINANCIAL SERVICES CORPORATION
CRD#: 1137 / SEC#: 801-54949, 8-13975
RIA
Registered Investment Advisory firm - SEC (10/10/1997 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(6/24/2015)
RR
Arizona(5/23/2016)
RR
Arkansas(2/11/2021)
RR
California(1/11/2016)
RR
Colorado(11/14/2017)
RR
Florida(7/17/2015)
RR
Illinois(8/22/2016)
RR
Iowa(11/20/2014)
RR
Kansas(6/9/2015)
RR
Louisiana(7/14/2025)
RR
Maine(2/16/2017)
RR
Maryland(3/17/2017)
RR
Michigan(3/11/2019)
RR
Minnesota(11/16/2020)
RR
Mississippi(9/8/2018)
RR
Missouri(11/20/2014)
RR
Nebraska(11/20/2014)
IAR
Nebraska(4/25/2016)
RR
New Jersey(7/11/2017)
RR
New York(2/21/2019)
RR
North Carolina(5/1/2015)
RR
Ohio(2/27/2020)
RR
Oregon(1/24/2017)
RR
Pennsylvania(6/28/2017)
RR
South Carolina(2/24/2017)
RR
South Dakota(10/20/2020)
RR
Texas(2/3/2016)
IAR
Texas(3/8/2021)
RR
Washington(10/14/2021)
RR
Wyoming(11/21/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
PRINCIPAL SECURITIES, INC.
BLC EQUITY SERVICES CORPORATION | PRINCOR FINANCIAL/ SERVICES CORPORATION | PRINCOR FINANCIAL SERVICES CORPORATION | PRINCIPAL SECURITIES, INC. | PRINCIPAL FINANCIAL SERVICES CORPORATION
CRD#: 1137 / SEC#: 801-54949, 8-13975
RIA
Registered Investment Advisory firm - SEC (10/10/1997 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
711 High Street, Des Moines, IA 50392
Mailing Address
Principal Financial Group 711 High Street, Des Moines, IA 50392-2080
Phone number
(888) 774-6267
Established
Iowa since 05/01/1968
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
1,436
SEC notice filing (51 States and Territories)
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PRINCIPAL FINANCIAL SERVICES, INC. | OWNER | |
| AGRAWAL, VIVEK | DIRECTOR | 8050381 |
| CLAIRE, CHAD THOMAS | CHIEF INFORMATION OFFICER | 7219218 |
| DROGAN, THOMAS JOHN | CHIEF COMPLIANCE OFFICER | 2760482 |
| FRIEDRICH, AMY CHRISTINE | DIRECTOR | 7097797 |
| LAWLER, CODY ANTHONY | HEAD OF SUPERVISION, HEAD OF OPERATIONS | 5162072 |
| MCCULLUM, KENNETH ALLEN | DIRECTOR | 4695257 |
| MURRAY, MICHAEL FRANCIS | PRESIDENT/CHIEF EXECUTIVE OFFICER/CHAIR | 2074275 |
| RANTS, DOUGLAS JOHN | CHIEF INFORMATION SECURITY OFFICER | 7148529 |
| ROBERTS, DAWN MARIE | CHIEF FINANCIAL OFFICER | 7929617 |
| SCHELHAAS, NATHAN PAUL | DIRECTOR | 7275495 |
| SPADAFORA, CRAIG ALAN | SENIOR VICE PRESIDENT / HEAD OF ADVISORY AND PLATFORM | 3184320 |
| VANWINKLE, DANIEL SIMON | PSI AML OFFICER | 4715191 |
Regulatory assets under management
| Total Number of Accounts | 63,730 |
| AUM (Assets Under Management) | $ 14,827,718,110 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 3 |
| Bond | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/26/2025 | ||
| 10/28/2024 | ||
| 11/28/2023 | ||
| 09/22/2023 | ||
| 12/20/2022 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
PRINCIPAL SECURITIES, INC.
CRD#: 1137Bellevue, NE 68005TRUST BUT VERIFY
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